Automatic document exchange with archiving capability

ABSTRACT

The exchange of documents for execution can be performed efficiently using an automated system that routes and archives documents. The system may facilitate the exchange of drafts between parties by highlighting changes of the current draft with respect to the previous draft. Documents may be conveniently archived for efficient document storage and access by providing one or more central archive databases accessible through a shared network to a plurality of organizations. The operating system of the database may provide systematic access to individuals associated with an organization with the privilege to access documents according to a specific organizational hierarchy. Routing and archiving documents may be accomplished through a central exchange server.

CROSS REFERENCE TO RELATED APPLICATIONS

This application claims priority to copending U.S. patent applicationSer. No. 11/654,389, filed on Jan. 17, 2007 to Foygel et al., entitled“Automatic Document Exchange with Archiving Capability,” which claimspriority to U.S. provisional patent application Ser. No. 60/760,222filed on Jan. 18, 2006 to Zwelling et al., entitled “Document Exchange,Interaction and Archiving Facilitated by the Internet,” both of whichare incorporated herein by reference.

FIELD OF THE INVENTION

The invention relates to improved automated approaches to documenthandling relating to execution of agreements, contracts and the like. Inparticular, automatic exchange of documents can be performed through oneor more pathways, such as fax machines, the internet or the like, withdocument scanning capability, which can further be used for automatedverification that the execution of the document was performed. Theinvention further relates to suitable hardware and software forimplementing the automated procedures.

BACKGROUND OF THE INVENTION

The growth of the information age has placed ever greater demands onmost people's time and organizational abilities. There are growingamounts of information that needs to be managed in a reasonable way. Atthe same time, the information age has made it possible to sendinformation at fast rates over essentially any relevant distance. Thisinformation is generally transmitted over extensive optical and/orelectrical wire networks which may also interface with wireless radiocommunication, satellite relay, microwave communication or similarwireless communication channels. These communication channels tie intoconventional phone lines or Internet based computer networks. The formatof the signal can be adjusted with correspondingly appropriateelectrical, optical or other routing information such thattelecommunication equipment can direct the information to theappropriate portals.

While fax machines and email provide very rapid and efficient mechanismsfor the transfer of information, they do not inherently organize thevast amounts of information transmitted over these channels. In carryingout business relationships, documents are exchanged for signature. Whilemodern document delivery channels provide for rapid document exchange,much of the corresponding efficiencies may be lost by the need tomanually organize and track the document distribution.

SUMMARY OF THE INVENTION

In a first aspect, the invention pertains to a method for electronicmanagement of documents. One or more central archive databasesaccessible through a shared network to a plurality of organization maybe provided. The database may store images of a plurality of executeddocuments. The operating system of the database may provide systematicaccess to individuals associated with one or more organizations with theprivilege to access the document according to a specific organizationalhierarchy. Individuals at a higher level within the hierarchy may havethe ability to access documents lower within the hierarchy. An automateddocument exchange system executed at least some of the documents. Theautomated document exchange system electronically routes a document forexecution and archives the document following apparent execution of thedocument by all requested parties.

In a second aspect, the invention pertains to a method for exchange of adocument for execution and distribution of the executed document. Themethod may comprise some or all of the steps of routing a documentautomatically for execution based on instructions receivedelectronically by a server and automatically routing images of theexecuted document to one or a plurality of e-mail addresses followingreturn of the executed document by all appropriate parties.

In a third aspect, the invention pertains to a method for electronicmanagement of documents. The method may comprise some or all of thesteps of routing a plurality of documents automatically for executionbased on instructions received electronically by a server and archivingthe documents for access by authorized individuals. The method ofarchiving may comprise associating each document with one or moreorganizational tags. Documents with a common tag are organized within astructure based on the tags and displayed in directories in groupsrelated to the common tags.

In a fourth aspect, the invention pertains to a method for facilitatingdocument preparation. Drafts of a document are exchanged iterativelybetween two or more parties through a document exchange server. Currentdrafts may be maintained and highlighted with respect to changes withinthe pervious draft. The document may be finalized upon approval by areceiving party. In some embodiments, the document is routedautomatically for execution upon finalization.

In additional aspects, the invention pertains to a central exchangeserver for performing the methods described in the first, second, third,and fourth aspects above. The central exchange server may comprise aprocessor programmed to perform these methods. An output subsystem maybe operably connected with the processor. The output subsystem maycomprise data connections to external addresses for the output of dataassociated with the images of the documents.

BRIEF DESCRIPTION OF THE DRAWINGS

FIG. 1 is a schematic view of an embodiment of a system for documentexchange.

FIG. 2 is a flow diagram of an embodiment of a method for documentexchange.

FIG. 3 is a flow diagram of an embodiment of the steps related tomediating document preparation from the view of the system.

FIG. 4 is a flow diagram of an embodiment of the steps related tomediating document preparation from the view of the user.

FIG. 5 is a flow diagram of an embodiment of the steps related toreceiving routing information.

FIG. 6 illustrates an embodiment of a system for performing the stepsrelated to receiving routing information.

FIG. 7 is a flow diagram of an embodiment of the steps related toreceiving and preparing the document for routing.

FIG. 8 illustrates an embodiment of a system for performing the stepsrelated to receiving the document via fax and preparing the document forrouting.

FIG. 9 is an example of a fax coversheet that may be used to fax thedocument into the system.

FIG. 10 is a flow diagram of an embodiment of the steps related torouting the document to execute the document or obtain signatures.

FIG. 11 is a flow diagram of an embodiment of the steps related torouting the document to a plurality of recipients and receiving executeddocuments from each of the plurality of recipients.

FIG. 12 is a flow diagram of an embodiment of the steps related torouting the document when the document is not satisfactorily executed orsignatures are not obtained.

FIG. 13 is a flow diagram of an embodiment of the steps related toarchiving an executed document.

FIG. 14 is an embodiment of a system for performing the steps related toarchiving documents.

FIG. 15 is an image of a web page useful for the management of documentsentered into the document management system.

FIG. 16 is another image of a web page useful for the management ofdocuments entered into the document management system.

DETAILED DESCRIPTION OF THE INVENTION

Efficiencies of document execution and storage can be greatly enhancedthrough an automated system that inputs routing information and thedocument for execution and then routes the document of execution untilrequested signatures are obtained. This process can be combined witharchiving of the executed document for later reference. Execution of adocument refers to obtaining signatures, and the “signatures” can beelectronic or physical signatures. To obtain physical signatures, thesystem can interface with a facsimile document output and/or input,although scanned documents can be input by way of email or other networkdirected interface. To perform the routing, the document can beassociated with metadata that uniquely identifies the document. In someembodiments, the automated system can facilitate document preparationand document exchange between negotiating parties. Furthermore, theautomated system can facilitate document archiving for documentsexecuted through the system as well as other documents input forarchiving. Appropriate computing systems can be used to implement thedocument management services. These computer systems are interfaced withappropriate input and output channels as well as an internet interface.

Further efficiencies for document execution and storage may be obtainedthrough an automatic system that leads parties through the process ofexecuting the document with little or no human intervention once anoriginator provides the initial instructions. Generally, the process ofexecuting a document may comprise, receiving routing information from anoriginator, storing a document from a source specified in the routinginformation, and routing the document to the recipients (orsignatories). However, in some embodiments the automated system canalternatively or additionally mediate document preparation.

Specifically, the system represents a neutral environment to mediateexchange of documents through an iterative revision process. Drafts ofdocuments in a word processing format may be exchanged iterativelybetween two or more parties without conveying more information thannecessary since the system can prepare drafts for exchange without anyextraneous information embedded in the word processing document. Forexample, a draft that is exchanged can reflect final changes for thatiteration of the document that are different from the previous draftwithout intermediate changes or comments identifiable. Generally, thedraft that is exchanged does not identify the individuals of a party whomade the changes. When the document is finalized, the system mayautomatically route the document for execution.

The system can provide parties enhanced abilities to review thedocuments. This may include search capability for originators andrecipients to search for identifying data about or within the document.This enhances the ability of parties to efficiently extract informationfrom the document to speed review and ultimate processing.

The system may also provide for the step of verifying documentexecution. This may include checking the integrity of the documentexecution. If document execution is not satisfactory, the document maybe routed until execution is satisfactory. In this step, the system mayalso detect and correct errors without any intervention by the parties.For physical signatures, the documents can be automatically reviewed forimage changes expected with the proper placement of the signature.

Further efficiencies for document execution may be obtained in thesituation involving a plurality of signatories. In such event, theprocess may also include routing the document for signature to thesignatories using a single action, receiving an executed document fromeach of the plurality of recipients, and merging executed segments ofeach of the executed documents into a single, fully executed document.

Execution of a document may involve obtaining approval or signatures onthe document. These signatures may be electronic signatures or physicalsignatures of any suitable form. A particular document may invite one ormore signatures, such as two or three signatures. Physical signaturesmay be obtained through fax, e-mail, or other network directedinterface.

One or more documents can be executed simultaneously under automatedsystem supervision. A document may be a contract, purchase order,confidentiality agreement, lease, deed, receipt, bill of sale, letter ofengagement, or other legal or commercial document. A document mayrequire approval rather than a formal legal signature, such as anapproval of a change order, insertion order, or work instructions. Theuser may provide a separate document or use a form provided by thesystem.

To obtain physical signatures, the system can interface with a facsimiledocument output and/or input, although scanned documents can be input byway of email or other network directed interface. To perform therouting, the document can be associated with metadata that uniquelyidentifies the document. Appropriate computing systems can be used toimplement the document management services. These computer systems areinterfaced with appropriate input and output channels as well as aninternet interface.

The document handling system generally automates a document executionprocess through the intake of the document and routing instructions,routing of the document and the presentation of the executed document.This exchange can be performed within a secured environment. Theexchange of documents and/or instructions can be directed electronicthrough the Internet or a combination of the Internet and facsimileformatted documents over the phone lines. In particular, routinginstructions are generally input through the Internet at a web page anddocument transfer can take place either over the interact or over faxconnections. To maintain this flexibility for document transfer, thesystem generally maintains connections both through the Internet andthrough phone lines for facsimile transmitting and receiving.

The system is able to intelligently route documents through theassociation of a document with metadata, which is generally provided byone or more parties associated with the documents. Metadata in thecontext of the world-wide-web has become associated with directinginformation used to guide a browser to websites of interest. These havebeen described as data-about-data or information-about-information thatprovides a labeling, cataloging or descriptive function. As used herein,the term metadata is used in an even broader sense ascataloging/labeling information that identifies a document and relatedinformation across media such as in a printed format or an electronicformat. Also, the metadata is only decodable by the system such that themetadata is not for general use by others using the same data channels.In some embodiments, the metadata has different formats depending onwhether or not it is an electronic format or physical format.

The terms Internet and World-Wide-Web should be given broad scope.Specifically, these should include the existing international computernetworks that provide email and website access broadly to individualsthat have addressed the network as well as any future manifestations ofa broadly accessible computer network. These networks can compriseelectrically wired, optical, wireless satellite, wireless microwave,wireless radio communication channels that interconnect users. Suitablenetworks include also private networks.

Functionality can be manipulated by format conversion. At appropriatestages in a document execution process, it is desirable to restrict orprevent modification of a document. However, temporary conversion toanother format can be accommodated for providing temporaryfunctionality, such as searching. Thus, the document handling system canmaintain a robust version of the document while providing a party with aversion that can be searched or otherwise manipulated separate from thetemporary document. In other embodiments, the document handling systemprovides search capability of the robust version of the document withoutallowing any modification of the document. These functionalities can beprovided on a secure web site or web service, or on downloaded versionsof the document.

The system can be capable of storing or archiving all executed documentsin one or more archive databases whether executed through the system orother means for easy management of documents in one place. In someembodiments, the system is capable of automatically managing access toarchived documents by providing individuals associated with anorganization with the privilege to access any document according tospecified organizational hierarchy. The system may also provide summaryinformation relating to the documents within the archive databases. Thismay include the total number of documents added to the database in aparticular portion of the hierarchy over a specified period of time.This may be helpful in locating a particular document or keeping anaccounting of the number of documents created.

To accomplish the objectives with desired levels of flexibility, thesystem generally comprises one or more central server(s) with a corecomputer(s) connected to a suitable database. The database is associatedwith a storage system. The core interfaces with one or more inputchannel(s) and output channel(s). The input channel and output channeleach have an interface with the world-wide-web or other email or datatransmission network and in some cases a fax transmission connection.The core computer also can have an interface with a web server thatprovides for an exchange with a user connected through a web page.Initial instructions for initiating a transaction can be input from awebsite which prompts a user for all of the appropriate information tocontrol the transaction, although the input can be entered inalternative mechanisms, including web services and web interfaces, amongothers.

A particular transaction is initiated through the receipt of a serviceorder. The service order provides instructions for carrying out atransaction including appropriate routing information. For security andbilling purposes, the user-originator generally enters a user name andpassword or other identifying information to associate the originatorwith identifying information known to the system. Metadata foridentifying the document are generated based on the instructions as wellas the parties. A request for the document is forwarded appropriately tothe originator based on the particular instructions.

For security purposes, billing purposes and general system managementpurposes, parties to documents are signed up as official users of thesystem. Official users of the system generate user names and passwordsthat identify them to the system. Similarly, other appropriate contactinformation, such as fax number(s), e-mail address(s), phone numbers,mailing address and/or the like, is associated with each official user.

When the originator of a document is not a system user, appropriateinformation is collected at the time that the transaction is initiated.For each transaction, the secondary parties are checked against thedatabase of system users to identify whether or not the party is alreadya registered system user. If one of the secondary parties is not alreadya system user, the system automatically generates a new system accountassociated with this user. Additional information needed to establish asystem account is collected when the document is forwarded for executionand/or in a separate communication with the new system user.

The document for the transaction can be input, for example, through apost to a web site, a direct or indirect interface with a web server orweb service, an email message, or a fax according to the instructions inthe service order. The originator then forwards the document with theassociated metadata by the prescribed input channel to the centralserver. The document can be converted to a common format, which isgenerally an image representation of the document. While temporaryelectronic versions can be generated for various manipulations, thedocument handling system can monitor the integrity of the document forexecution. In some embodiments, the document following input is not tobe altered except for signature of the document.

In some embodiments, the system provides text searching capability tothe system users either in documents pending full execution and/or inarchived executed documents. In other embodiments, the system itselfscans the document text and/or image to obtain information to facilitatethe system procedures. For example, the document scan can involve theidentification of a signature block area, which can be used to monitorexecution of the document. Similarly, the document scan can involve theidentification of dates that can be used to provide deadlines forreminding the parties of the status of the process. Large volume userscan instruct the system of specific procedures to follow for all or anidentifiable subset of the user's documents.

The document and metadata are forwarded sequentially and/orsimultaneously to the signatories according to the instructions. Thesigned documents are received and verified. This process is repeatedand/or monitored until the signatory instructions have been satisfied.Then, the originator and other appropriate individuals are notified thatthe transaction is completed and the completed document is provided toappropriate individuals through selected channels, such as a facsimileor secure website.

Regardless of the mechanism for document transfer and execution, theprocess can be made more efficient through the implementation ofautomated signature verification. For physical signatures, signatureverification can involve the identification of a signature block on theunexecuted document and the identification of a marking at the signatureblock after putative execution. For electronic signatures, appropriateelectronic verification is performed to provide a desired level ofsecurity. For electronically signed documents, the physical image of thedocument can be altered at the identified signature block to visuallyindicate the electronic signature.

Of course, the system is designed generally to facilitate a plurality oftransactions both simultaneously and sequentially. Another dimension ofthe system capabilities involves the archiving and organization of theexecuted documents from the transactions. Once a document is fullyexecuted, the parties are appropriately notified. If the instructionsprovide appropriate instructions, the executed document can be forwardedto a non-party and/or the non-party can be notified as well as providedaccess to the archived document. In particular, the documents can beorganized on a web page in groupings involving the originator as well aswith other selected identifiers. Varying degrees of organization can beselected for facilitating the archiving and execution of documents withspecific formatting available to a user. In some embodiments, thearchived documents can be made accessible to authorized individuals fortext searching.

In general, an improved and automated document execution system isdescribed further in copending U.S. patent application Ser. No.11/______, to Foygel et al. filed Jan. 11, 2007, entitled “AutomaticDocument Exchange and Execution Management,” incorporated herein byreference. Automated document execution with improved system searchcapability is described further in copending U.S. patent applicationSer. No. 11/______, to Foygel et al. filed on the same date as thepresent application, entitled “Automatic Document Exchange with DocumentSearching Capability,” incorporated herein by reference. Additionalimproved functionalities that provide automated error detection in thesignature/approval process, more efficient review of documents, and/ormore effective routing for execution is described herein.

System for Implementing Document Exchange

In general, the system to implement the processes described hereincomprises one or more central servers with one or more processorsconnected to suitable storage devices with interfaces to appropriateinput and output subsystems. The one or more central servers may be inmultiple locations and distinct from one another. In some embodiments,the input and output subsystems each comprise both a gateway to theinternet and a fax connection to the phone system. These connectionsprovide optional document transmission/receipt as a facsimile document,a browser download, an internet-based notification, or as an emaildocument attachment. In addition, the central server can be connected tothe internet such that it can function as a web server, or the centralserver can be interfaced with a web server and/or web service. While avariety of configurations can be used to assemble the appropriatehardware and software, the common features described herein provide thedesired functionality.

The central server can be one computer or a group of interfacedcomputers that may or may not be at the same physical location. Ingeneral, the computers can be commercially available computers such asperson computers, servers, main frame computers and the like, such asfuture renditions of these computers. The input subsystem and outputsubsystem generally comprise suitable hardware to interface with therespective data channels, and may comprise a processor(s) for filemanipulation and/or routing. The data channels can comprise one or morepathways that are presently available or may become available in thefuture, such as wire connections, optical communication channels, radiochannels, microwave channels and the like. The initially received datamay or may not then undergo a conversion of format. The conversion offormat can be performed by the central server or processors associatedwith the communication subsystems. In some embodiments, documents areconverted to a common format, such as PDF format, for furtherprocessing. The web or other network interfaces can also useconventional technology or may be based on future technologies.

One representative configuration for the system is shown in FIG. 1. Asshown in FIG. 1, document system 100 comprises core or central server102, web interface 104, storage system 106, input subsystem 108 andoutput subsystem 110. The components may interface with each otherthrough a common system bus and/or through a network, through USB,firewire and/or appropriate connections presently available or developedin the future.

Core 102 comprises a computer or a distributed network of interfacedcomputers that runs software that executes a workflow rules engine 120.Workflow rules engine 120 controls the flow of the processing ofdocuments by the system as well as the archiving process, although thesetwo functions can be handled by distinct software units. Workflow rulesengine 120 interfaces with a database 122 on a suitable nonvolatilestorage medium, such as a magnetic drive, optical drive or the like. Inthis embodiment, database 122 stores the status of documents beingprocessed as well as the rules for providing access to archiveddocuments.

Core 102 is interfaced with web interface 104 and storage system 106.Specifically, in this embodiment, core 102 interfaces with a web server124. In some embodiments, the computer(s) of core 102 can be the webserver itself, or the web server 124 can be a separate computer ordistributed network of computers. The web server generally provides awebsite or web or other application interface at which a documentoriginator requests signature of a document and inputs instructions forhandling a particular document.

Storage system 106 comprises nonvolatile storage such as a hard drivefor storage of documents 126. Storage system 106 can further comprise aprocessor that runs software that performs document imaging or PDFconversion 128. A range of commercially available software can performthe function of generating images, such as Product Scope 32 Pro™ fromEncourager Software or MD2 Thumbnailer 1.0. The thumbnail images 130 canbe stored for quick access to authorized individuals to view archiveddocuments. Specifically, thumbnail images 130 can be made available, forexample, through a browser thumbnail view 132 or the like. Storagesystem 106 can be interfaced with input channel 108 and output channel110.

In this embodiment, input subsystem 108 has three gateways for receivingdocuments, a browser upload 140, an email receiver 142 and an incomingfax gateway 144. Fax gateway 144 can comprise a conventional fax modemor other suitable device for receiving and/or transmitting signals overa phone line. Browser upload 140 receives a file through a websiteportal, which can include, for example, a web or other applicationinterface. Email receiver 142 receives the file as an attachment to anemail message. Incoming fax gateway receives the message over a phoneline in facsimile format that may correspond with a particular TIFFformat. Input from browser upload 140 or email receiver 142 are checkedfor format and converted to PDF format, such as from MSWord™ format, ifnecessary, which can be performed with a PDF converter 146, such asAdobe Acrobat™. An incoming fax can be reviewed with a barcode reader148 which can identify a bar code on an image file, such as DTK BarcodeReader SDK v 3.0, which can identify several barcode formats, or BarcodeTools from Softek Software. After reading the barcode, the TIFFfacsimile file can be converted to a PDF file with a TIFF to PDFconverter 150, such as Adobe Acrobat™. Regardless of the gateway throughwhich the document was received, a PDF version of the document alongwith corresponding metadata can be forwarded to storage system 106 sothat core 102 can evaluate the further routing of the document.

In an embodiment, output channel 108 receives documents from storagesystem 106 and has a connection to three output gateways or outputsubsystems. An output subsystem may comprise data connections toexternal addresses for the output of data associated with the images ofthe documents. An output subsystem may be operably connected with aprocessor, such as a PDF enhancer 156, which can process documents fromstorage system 106. “PDF Enhancer” is available from Apago Inc., andsimilar software is available from other vendors. A dedicated computerfor the output channel 108 can run the PDF enhancer, or the corecomputer(s) and/or a processor associated with the storage system 106can execute the PDF enhancer routine. The enhanced PDF file can then berouted to browser download 158, email sender 160 that send the file asan email attachment, or outgoing email to fax gateway 162, which can bea fax modem or the like.

A person of ordinary skill in the art will recognize that thisrepresentative configuration is subject to a range of suitablevariations that depend on convenience for a particular environment. Forexample, instead of or in addition to a PDF, other formats such as JPEG,BMP, PNG, GIF, and others.

A user generally would be able to communicate through web connectionswith a conventional web browser or internet connection with anyappropriate connection generally through to an internet serviceprovider. Similarly, for facsimile transmissions, a commercial fax modemor the like can be used to provide the transmissions. While anyreasonable communication protocols can be used for the communications,although standard protocols provide ready compatibility. Fax protocolsare generally established by International Telephone UnionTelecommunication Standardization Sector (ITU-T), Group 3 forcommunication over Public Switched Telephone Network (PSTW).

Electronic mail communications similarly have standard protocols,although non-standard protocols can be used if appropriatelycoordinated. Typically, the Simple Mail transfer Protocol (SMTP) withinthe TCP/IP (Transmission Control Protocol/Internet Protocol) suite ofprotocols is used by routers connected to the network. Fax protocols andinternet mail protocols are described further in U.S. Pat. No. 6,625,642to Naylor et al., entitled “System and Process for TransmittingElectronic Mail Using a Conventional Facsimile Device,” incorporatedherein by reference.

File transfer mediated through a web browser can be performed with FileTransfer Protocol (FTP), HTTP, or other suitable protocol. The webbrowser authorizes the file transfer from the originating computer. Thecentral server can associate the transferred file with the correspondingmetadata. In addition, transfer may be done via the use of web servicesand web interfaces, such as an API.

Method for Document Exchange

The automated procedure described herein for a transaction relating tohandling document execution provides an efficient and flexible approachfor document handling that is compatible over a range of technologies.In particular, these procedures are extremely efficient at obtainingphysical signatures while being flexible to handle electronic signaturesas these become acceptable in a broader range of circumstances.Referring a flow diagram in FIG. 2, a representative embodiment of adocument execution transaction 200 can generally be considered ascomprising four steps. Specifically, transaction 200 can comprisemediating document preparation 201, receiving instructions 202,receiving and preparing the document 204, routing document for execution206 and archiving document 208. This diagram depicts the life cycle ofdocument execution through the automated process described herein. Adocument execution/approval process may or may not have the documentpreparation and/or archiving components. Similarly, the automateddocument preparation or archiving functions can be separatelyimplemented without the document execution/approval components. Each ofthese steps generally has a plurality of associated sub-processes, andall aspects of these steps may or may not be done in sequence such thatthere may be overlap with respect to aspects of the main steps.

One embodiment of the process to mediate document preparation 201 isdepicted in FIGS. 3 and 4 through the perspective of the system anduser. This transaction may be accomplished through the document exchangeserver(s). The system may receive an initial draft of the document 210,accept any marked changes and purge any comments 211, and make thedocument available to or send the document to one or more parties 212.At this point, the one or more parties receive the draft 221, revise thedocument based on input from individuals internal or external to theirorganization 223, prepare the revised document either with or withoutredlining 225, and forward the revised document to the system 227.

The document forwarded to the system can have redlining from manyindividuals associated with the revising organization. The informationon who made particular revisions or made comments could be detrimentalto the editing organization in negotiations if this information wereknow to the other party(ies). By removing redlining and commentsattributable to a party, the sanitized document received by the otherparty does not provide any potentially biasing information. Byautomating the draft preparation process, the chance for inadvertentdisclosure is significantly reduced or eliminated and the manualdocument processing is significantly reduced even though the similarprocesses can be manually performed. Also, individuals involved indocument revision can feel freer in expressing views within circulateddrafts without fear that these comments could accidentally survive inthe forwarded form of the document seem by another party. For example, acomment placed in the document, such as “This term is completelyunacceptable. CEO,” can be placed with confidence that the other partywill not see this comment.

The one or more parties may decide not to revise the document. In thisevent, the system may receive instructions that the previous draft iscomplete 217 and notify the one or more parties that the document isready for acceptance 218. If, instead of receiving instructions that theprevious draft is complete, the system receives a revised draft 213, thesystem may accept changes and purge comments 214 and compare the changeswith the previous draft 215. The system may then determine if there arechanges from the previous draft 215. If there are changes from theprevious draft, the system may go through the iterative process ofmaking the document available to or sending the document to the one ormore parties 212 and receiving either a revised draft 213 or receivinginstructions that previous draft is complete 217. In making the reviseddraft document available to the party or parties, the system can providea clean document as well as a redlined document prepared by the systemthrough the comparison of subsequent versions of clean documents. Forredlined versions prepared by the system, there is no embeddedinformation relating to changed made by the actual individuals involvedin the process. The system prepared redlined version is sanitized ofinformation on the revising process from the preparing party. If thereare no changes from the previous draft, the system may notify allparties that the document is ready for acceptance 218. Once step 218occurs, the document may then continue through the life cycle ofdocument execution as depicted in FIG. 2.

In general, the document preparation process is performed with wordprocessing documents. However, the system can be programmed with thecapability for handling a plurality of word processing softwareproducts, such as MSWord™ and Word Perfect™, as well as the ability toswitch between these formats. Thus, the user can specify the format thatthey desire to handle, and the system can correspondingly make thatformat available to that user.

The function of making a draft available to one or more parties cancomprise forwarding a copy of the document, such as by e-mail, by makingthe document available on a web site or web service or through any otherappropriate approach. If the document is not forwarded, notice can beprovided through an appropriate approach, such as an e-mail message. Insome embodiments, a current draft and previous drafts can be located onthe system in sanitized form for review by the parties. The sanitizedforms can be clean documents and/or documents with system redliningrelative to the previous version.

One embodiment of the process to receive instructions 202 for documentrouting is depicted in FIG. 5. Input is received 220 regarding routinginstructions and identification of the originating party. Generally, theinput may be received electronically by a server, such as a web pagethrough a web browser connected to the internet or other appropriatenetworking portal. However, information can be initiated through othermeans, such as written instructions or the like, which can betranscribed into the system to initiate the automated processing.

An example of a web screen for receiving input relating to execution ofa document is depicted in FIG. 6. The user may enter one or morerecipient e-mail addresses in the “To:” or “Cc:” line 230, document name231, and modify or leave unchanged the default message 232. The systemmay prompt the user to specify whether the document will be a documentattached, faxed, or e-mailed to the system or a standardized documentprovided by the system 233. Either a written or electronic signature maybe provided by either the intended recipients and/or the user 234. Thesystem or the user may request only written signatures from either theuser or intended recipient or both or only electronic signatures fromeither the user or intended recipient or both. The user may add theirsignature to the document and specify the order of signing by the userand intended recipient 235. In this embodiment, the user may passwordprotect the document by specifying either or both that a password berequired by the intended recipient to sign or view the PDF 236.

The routing instructions are processed 222 to determine the number ofsignatures requested, the identity of the at least one signatory, thedelivery approach for each signature, the contact information of asignatory, and the requested order of signatures, if more than onesignature is requested, which can be obtained sequentially orsimultaneously. It can be efficient in some embodiments tosimultaneously obtain a plurality of signatures. For example, a processto obtain approval or signatures from a plurality of locations caninvolve obtaining approval from 2, 5, 10, 100 or more or any valuewithin these ranges of authorized individuals. The input is alsoexamined with respect to a determination of the source of the document224.

For security purposes as well as in some embodiments for billingpurposes, the transaction originator logs into the system foridentification purposes. Logging on may occur before or after theoriginator provides initial instructions. The login information isprocessed 226 to identify the user within the system. Generally,security is ensured through unique identification of a user. The uniqueidentification can be provided with a user name and password or othersuitable identification procedure. A particular signatory does notnecessarily need to have a registered login for the system, but aninvitation to be a logged-in member generally can be made to provide thefull archive capability of the system, which cannot generally beprovided for security purposes unless the person is a login member.

One or more new system accounts may be generated automatically based one-mail addressed of recipient if accounts do not already exist. In someembodiments, the systems list of accounts is cross referenced to thee-mail address provided for the recipient. If an account is notidentified with this address, a new account is set up, which can be atentative account pending confirmation from the recipient. An initialpassword can be forward, such as by email, to a holder of a new accountto provide initial access to the system. The recipient is notified ofthe new account when contacted regarding the document or separately. Therecipient can confirm the new account, provide additional informationthat allowed the system to provide additional functionality to theaccount, reject the new account, and/or indicate that an existingaccount should be associated with the contact information so that atentative account is merged into an existing account. A person ofordinary skill in the art will recognize that existing software can beadapted in a straightforward way to provide these functionalities.

System accounts can be organized into groups of users. For example, alarger company can have a group of individual users. Similarly, largergroups of users can be organized into subgroups. The user organizationinto groups and optionally into subgroups can be related to variousfunctionalities of the system. For example, particular members of agroup/subgroup can have access to a particular group of archiveddocuments and/or to particular form documents. In general, a groupmanager is established with the group organization to approve additionor removal of individuals from a group or subgroup. The group managerhas authority to change group account information and access within thesystem.

During or after the user provides the input, a request is made for thedocument 228. If the document is to be received by way of the web serverfollowing receipt of the order instructions, the user may attach thedocument when providing the input. If the document is to be received byfax, a fax is sent with a return cover sheet to the document originator.The cover sheet may be provided when the user provides the input. Thereturn fax sheet has a barcode representing the metadata to identify thedocument. A barcode is intended to broadly refer to any image that canrepresent the metadata so that electronic reading of the image canprovide the associated metadata. If the document is to be received byemail, a solicitation email can be sent to the originating person. Thesoliciting email generally can contain a representation of the metadataso that the returned document attached to the reply email can beassociated readily with the metadata. In addition, in some cases themetadata can be associated via optical character recognition (OCR) ofsome or all of the underlying document, which can then be matched to adatabase of potential documents to associate with the incoming document.OCR can be performed with commercial software, such as NUANCE™,SOFTSCAN™ or ABBYY™.

FIG. 7 is a flow diagram of an embodiment of the steps related toreceiving and preparing the document for routing. The receipt andpreparation of the document 204 comprises receiving the document 240based on the request for the document 228. The request for the document228 initiates a process to receive the document with associatedmetadata. Following receipt of the document with metadata, the metadatacan then be interrogated 242 to identify the document with a particularrouting protocol. In general, if the document is received in a wordprocessor format, such as WordPerfect™ or Microsoft-WORD™, the documentis generally converted to one or more document or image formats. A PDFformat can be used since it is relatively compact with respect to filesize and is generally readable by most users, although other formats,such as TIFF formats, can be used if desired. To simplify thediscussion, it will be assumed that a PDF format is used. Similarly, ifthe document is received as a TIFF format, such as by fax or by email,the file can be converted to a PDF format. Thus, regardless of theformat of the source document, the document can be converted to a commonformat 244, if appropriate.

Alternatively, the step of receiving and preparing a document mayinvolve exchanging drafts of a document iteratively between two or moreparties prior to being finalized for approval or signature by therecipient. This may be facilitated by a document exchange server.Current drafts are maintained and highlighted with respect to changeswithin the previous draft. This is accomplished by accepting embeddedchanges and removing indications of amendments prior to highlightingchanges with respect to the previous iteration. Either the system or theparties may accept changes. The document may be finalized by therecipient party at anytime. The document is routed automatically forexecution upon finalization.

One or more documents may be uploaded through the web site, transferredthrough a web interface, faxed, or e-mailed. In the embodiment of FIG.6, one or more documents may be attached through an input screen, whichprovides the routing information to the system. FIG. 8 shows anembodiment of a screen illustration appropriate for guiding the stepsrelated to receiving the document via fax and preparing the document forrouting. After entering appropriate information, if the user providesinstruction to input the document by facsimile, the user may print out afax coversheet and fax it with the document, and the system inputs thedocument into the appropriate routing protocol. FIG. 9 is an example ofa fax coversheet that may be used to fax the document. Alternatively oradditionally, the document can be e-mailed, optionally as an attachment,to the system for forwarding to the intended recipient.

Alternatively, the originator may use a standardized form provided bythe system instead of a separate form attached, faxed, e-mailed by theuser. The system can be configured to offer one or more forms forparticular purposes, such as purchase orders, service orders or thelike. In some embodiments, the system can provide an editing function tofill in specific numbers on the form, or the system can pose specificqueries to obtain numbers that the system automatically places into thedocument. In addition, in some embodiments, individual users or usergroups can store documents on the system for later use by the individualuser or individual users within a user group.

The originator can request either a written signature and/or anelectronic signature to be provided by either the intended recipientsand/or the originator. During the routing process, a user/recipient mayreceive a document with a request for their approval. FIG. 10 is a flowdiagram of an embodiment of the steps related to routing the document206 a for execution or signature. Once converted to a common format, thedocument is routed for execution 206. Based on the routing information,the document is transmitted 250 to the first signatory. The transmitteddocument is associated with metadata. If the document for execution issent by way of facsimile, the metadata can be in the form of a bar codeon the return fax cover sheet sent to the signatory with the document.For documents send by email for signature, the metadata can be embeddedin the subject (“Re:”) line or other convenient location in the messagesuch that it would be available in a reply message.

The recipient may receive the document in a format, such as a physicalcopy or an electronic format that is not readily searchable. The systemcan provide the recipient access through a web site or web service, orthrough an e-mail message of a searchable version of the document.Through the availability of a searchable document, the recipient'sreview process can be facilitated and made more efficient.

The executed document is received from the signatory 252. For physicalsignatures, the system may compare the image of a document returned bythe recipient with the image of the original document to confirm thatthe form of the returned document is properly executed. Various imagesearching software can be adapted for this purpose. A wide range ofimagine searching software is available, generally for filtering or forimage organization. For example, image scanning software is availablefrom LTU Technologies, Inc., Washington, D.C. The image can be dividedinto segments for searching to evaluate signature blocks. The comparisonmay comprise identifying a signature block location prior todistributing the document for execution and evaluating the presence ofimage darkening at the signature block beyond a predetermined threshold.A suitable predetermined threshold can be evaluated empirically by aperson of ordinary skill in the art based on the functionality of theparticular image searching software. If a signature is not found duringthe image scan, the system can automatically prompt the individualregarding their signature to confirm whether or not the document doeshave their signature.

The remaining portions of the document may be examined for changes inlocations not identified as a signature block location. If such a changeoccurred in portions of the document not in the signature blocklocation, a message may be sent to the signatory inquiring about themodification. If there are any remaining signatories, a message may alsobe sent to them requesting confirmation of any modification. Imagecomparison may be used to detect errors, such as missing pages fromreturned document, image damage due to copying errors, inverted imagedue to faxing, incomplete or incorrect transmission due to malfunctionedfax or wrong document was returned, and/or the like. Parties may benotified of such errors if detected.

For embodiments in which an electronic signature or other electronicapproval is provided, the document image can be altered to reflect theelectronic signature/confirmation. This can be performed automaticallythrough the identification in the document of the signature block. Then,an image indicating the electronic signature/confirmation can besuperimposed at the signature block. Thus, a person examining the imageat a later time either during the execution process or followingarchival of the document can appreciate the status of the documentexecution.

In general, the document may or may not be returned through the sameroute that it was sent. For example, if the document was sent by fax, itcan be returned by email, and if it was sent by email, it can bereturned by facsimile. Appropriate instructions can be sent foralternative return routes to associate the metadata with the document.The returned document can be converted to PDF format or other format, ifappropriate. The signature associated with the returned document can bea physical signature that is converted to an image format with theremainder of the document, or an electronic signature in a suitableformat, such as one compliant with the E-SIGN Act of 2000.

Referring to FIG. 10, the metadata associated with the returned documentis interrogated 254 to associate the document with a particular routingprotocol. The routing protocol is then reviewed to determine ifexecution is complete or additional signatures are requested 256. If therouting protocol calls for additional signatures, the document with thesignatures to date is transmitted again to the new signatory 250, andthe process of receiving the executed document is repeated.

Once all of the signatures have been obtained according to the routingprotocol, the parties may be notified. The document may be madeavailable 258 to the parties. This can be performed in one or more ways.For example, the signed document can be faxed to all of the parties.Also, the signed document can be emailed to all of the parties. Inaddition, the signed document can be made available through a websiteand/or using access through web services, such as an API. A combinationof one or more of these approaches can be used. In addition, the systemcan be configured to automatically route the executed/approved documentto a non-party. This instruction to route to a non-party generally isprovided by the originator. The non-party can be any suitable recipient,such as a supplier of a good or service that is involved with thetransaction or, for example, a creditor or other interestedorganization.

The approach through a website can be combined with an archival process.Routing of the document may comprise reminders for the recipient orsignatory of the deadline for responding. The system may generate duedates through examining the document for due dates, which may or may notbe confirmed with the transaction originator. In some embodiments, theoriginator is asked in real time regarding dates found in a review ofthe document text, and whether or not these dates should be considereddeadlines. In additional or alternative embodiments, the originator isasked in an email message regarding due dates from the documents,generally with a response format that can be automatically evaluated.The due date may be determined as a particular date or as a certainperiod of time relative to when the document is routed to the recipient.In some embodiments, due dates are input into the system by theoriginator during the session when the routing instructions are providedto the system.

In some embodiments, it may be desirable to speed the execution processthrough the simultaneous forwarding of the document for execution by aplurality of signatories. The system can be configured so that theoriginator of the transaction can specify simultaneous transmission forexecution. FIG. 11 is a flow diagram of an embodiment of the stepsrelated to routing the document 206 b for simultaneous approval,execution or obtaining signatures. If the document is transmitted to aplurality of recipients for execution 260, the system receives anexecuted document from each of the plurality of recipients 262. Oncereceived, the system can merge the executed documents into a single,fully executed document 264. Merging of the document can comprisecombining a plurality of signature pages into the combined document. Ifappropriate, the system can merge executed signature blocks into thecombined document. The plurality of signatories can be 2, 3, 5 or moresignatories. In particular, this approach can be appropriate andefficient with larger numbers of signatories, such as 10, 100, 1000,larger number or any numbers of signatories within these specificvalues.

FIG. 12 is a flow diagram of an embodiment of the steps related torouting the document 206 c when the document is not satisfactorilyexecuted or signatures are not obtained because a recipient refuses toexecute or sign the document. When the document is transmitted to one ormore recipients for action 260, the system receives responses from theserecipients 262 and interrogates the metadata 264 to determine if theaction has been satisfied 266. In such event, the document may never bereturned from the rejecting recipient, whose access to the document maybe terminated 267. The system can be configured to receive a responsefrom a recipient that the document is being rejected so that theoriginator can be notified. If the rejecting recipient desires to sendan edited document 265, then the system may prompt the rejectingrecipient to log in or create a new account either prior to or after therejecting recipient provides routing information 269. If all recipientsexecute or sign the document, then the executed document is madeavailable to the originator and all recipients 268.

Referring to FIG. 2, the archiving of the document 208 comprises theorganization of an executed document within a central archive databasesuch that a plurality of documents can be accessed if securityprecautions are satisfied. Generally, the archive is populatedautomatically by the very act of sending out a document through theservice. One or more central archive databases accessible through ashared network with access by a plurality of organizations may beprovided. The database may store images of a plurality of executeddocuments. These images may be stored in PDF format or other suitableformat. The database may provide summary information relating to thedocuments within the database. The summary information may comprise thetotal number of documents added to the database over a certain orselected time period associated with a particular portion of thehierarchy.

The database may provide systematic access to individuals associatedwith an organization with the privilege to access the document accordingto a specific organizational hierarchy, which may have at least twolevels with a plurality of branches between each level. In someembodiments, the hierarchy can have three levels, four levels, fivelevels or more. Individuals at a higher level within the hierarchy mayhave the ability to access documents lower within the hierarchy. Thedatabase may be indexed to provide easy browsing and location ofdocuments. At least some of the documents in the database may beexecuted through an automated document exchange that electronicallyroutes the document for execution and archives the document afterapparent execution of the document by all requested parties.

Referring to FIG. 13, a representative embodiment of the archiving of anexecuted document is depicted with particular steps. In general, thedocument routing information contains information regarding thearchiving of the document following execution of the document. Archivingcan be organized with tags that group documents of a particular useraccording to document type or other organizational tags selected by auser or by the service. Each document may be associated with one or moreorganizational tags so that documents with a common tag are organizedwithin a structure based on the tags and displayed in directories ingroups related to the common tags. The common tag can comprise aplurality of archival or independent parameters to providemultidimensional indexing of documents. At least one parameter of thecommon tag provides information associating the document with a positionon an organizational hierarchy that determines access privilege to thedocument. The user may further direct the document into selected foldersin an automated or rules-based fashion.

These archival parameters are checked 270. Based on the archivalparameters, the archive database is updated 272. This update of thearchive database generally comprises storage of the executed document aswell as the storage of the document access information. Using theupdated archive data, the system generally provides access to thedocuments in the archive appropriately based on selected organizationparameters and authentication of security information to provide access274. The system may provide the originator and any authorized recipientto search data regarding the document and text within the document 276.

Documents that have not been executed through the system may also bearchived in the system so all selected documents may be managed in onelocation. These additional documents may or may not be of a typesoliciting execution or agreement. Placement of additional documentsinto the archive may be accomplished through a browser upload orinternet interface through attaching the document along with enteringidentifying information about the document, faxing the document into thesystem, or e-mailing the document directly into a system through anaddress provided by the system. Similar to routing the document forexecution, a fax coversheet may be provided to fax the document into thesystem for archiving. FIG. 14 shows a system useful for performing thesteps related to archiving a document. The user may provide documentname 280 and party's first and last names 281, identify the organizationthey are associated with 282, provide the date 283, write a message 284,and attach the document 285. They user may simultaneously send a copy ofthe document to an e-mail address 286. Alternatively, the document maybe faxed 287 or e-mailed to the system 288.

While the processes shown above are described in a linear fashion, for aparticular user, the system can provide more sophisticated agreementmanagement approaches with a visual organization that facilitates use ofthe system. A wide range of embodiments can be implemented to facilitateagreement management. One embodiment is depicted in FIG. 12.

FIG. 15 depicts a web page screen 300. In this embodiment, general logininformation is depicted at the top, including user name 302, logoutcommand 304 and help command 306. Three tabs 308, 310, 312 provideselection of a screen format, respectively, for performing the input ofinstructions to initiate document transaction, for viewing the status ofagreements and for reviewing account information, such as balancesoutstanding. The agreements page format is depicted over most of thepage in FIG. 15.

With respect to the agreements page format, pull down menus 320, 322,324 provide for the selection of the format for the agreement listings.The selections in the embodiment of FIG. 15 provide for viewing listswith all parties or only selected parties, with all status types or onlyselected status types and all document types or only selected documenttypes. Thus, the agreements can be associated with a label to indicateits type. As depicted in FIG. 15, the document list is divided intogroupings for a list of documents waiting for execution by the user 326,a list of user's documents awaiting signature by a third party 328 and alist of completed or executed documents 330. The system may also providea grouping for a list of cancelled/declined documents and a list ofdocuments that were not executed through the system but archived intothe system for easy management. Documents under each grouping may behidden or shown. This may be accomplished by clicking on the trianglenext to the desired grouping.

Within each of these groupings, the list of documents may bealphabetized in descending or ascending order by party name, companyname, or title or arranged by date in descending or ascending order, orcombinations thereof using the categorization bar 344. This may beaccomplished by clicking on the triangle or other suitable symbol nextto the desired categorization type. For instance, if the triangle nextto name is pointing downward, the list of documents in each group may bealphabetized by party name from Z to A. If the triangle next to companyis pointing upward, the list of documents in each group may bealphabetized by company name from A to Z. If the triangle next to dateis pointing downward, the list of documents in each group may bearranged from latest date to the earliest date, and vice versa.

In this embodiment, clicking on a document within lists 326, 328, 330provided a summary relating to the document in block 332. Summary block332 comprises a one click command line or tool bar 340 to manipulate theselected agreement, a summary of document parameters 342 and a view ofthe first page of the document 344. The tool bar 340 may provide forprinting, enlarging, viewing a PDF of, and deleting the document, amongothers. Referring to FIG. 16, the agreements page may also allow sharingthe document 346 with others through means such as e-mail, reminding theparties 348 once or periodically (daily, weekly, monthly, etc.) aboutthe document with any additional instructions or message, creating notesabout the document 352. The system may also keep track of the history350 of the document, such as when the document is created, first sentout for signature, when viewed by the recipient party, and when signedor approved by the recipient, if ever. The system may also providesearch capability for identifying data regarding a document, text withina document, or both. While this embodiment has one particular pagelayout, a person of ordinary skill in the art can select page layoutswith different esthetic qualities and different information, as desired.

While the procedures described above relate generally with a process toexecute documents, the archiving and document handling capabilities canbe adapted for the archiving and communication of documents that arefully executed prior to introduction into the procedure. While theseapproaches do not require the full capabilities of the system, thesystem still provides significant efficiencies with respect to documenttransfer, maintenance and storage. For example, a signed standardpurchase order, which has been signed by a purchaser, can be forwardedinto the system. The signed purchase order can be archived with accessto the seller so that the purchase order can be picked up. Similarly, adocument with multiple signatures can be archived following execution toorganize the documents for the convenience of one or more parties. Thesystem above can be adapted to accommodate fully executed documents.Furthermore, the system can easily accommodate a mixture of documents inwhich certain documents need routing for signature while other documentsreceived in completed form are archived and/or directed to a receivingparty. Additionally, the system can easily accommodate documents inwhich a written or electronic approval, rather than a legal signature,is desire.

The agreement processing procedures are generally intended to be carriedout automatically by the processors integrated into the system. While innormal operation the processes are performed automatically, it will beunderstood that human intervention can be used on occasion, for example,to overcome problems identified, to address concerns raised by a userand/or for quality control purposed to check certain functions of thesystem.

The embodiments above are intended to be illustrative and not limiting.Additional embodiments are within the claims. In addition, although thepresent invention has been described with reference to particularembodiments, those skilled in the art will recognize that changes can bemade in form and detail without departing from the spirit and scope ofthe invention. Any incorporation by reference of documents above islimited such that no subject matter is incorporated that is contrary tothe explicit disclosure herein.

1. A method for the exchange of a document for execution and thedistribution of the executed document, the method comprising: routing adocument automatically for execution based on instructions receivedelectronically by a server; and automatically routing images of theexecuted document to a plurality of e-mail addresses following return ofthe executed document by all appropriate parties.
 2. The method of claim1 wherein the routing of the document is performed by e-mail.
 3. Themethod of claim 1 wherein the documents are executed with physicalsignatures.
 4. The method of claim 1 wherein the documents are executedwith electronic signatures.
 5. The method of claim 1 wherein the routingof images is directed at least to the signatories of the document. 6.The method of claim 1 wherein the routing of documents comprisesdirecting the document to at least one non-signatory of the document. 7.A central exchange server comprising a processor programmed to performthe method of claim 1 and an output subsystem operably connected withthe processor, the output subsystem comprising data connections toexternal addresses for the output of data associated with the images ofthe documents.
 8. A method for facilitating document preparation, themethod comprising: automatically exchanging drafts of a documentiteratively between two or more parties through a document exchangeserver wherein current drafts are maintained and highlighted withrespect to changes within the previous iterative draft prior toforwarding back to a particular party and wherein the document isfinalized upon approval by a receiving party.
 9. The method of claim 8wherein upon receipt of a revised document from a party all embeddedchanges are accepted to remove indications of amendments by particularindividuals prior to highlighting the changes with respect to theprevious iteration.
 10. A central exchange server comprising a processorprogrammed to perform the method of claim 8 and an output subsystemoperably connected with the processor, the output subsystem comprisingdata connections to external addresses for the output of data associatedwith the images of the documents.
 11. A method for facilitating documentpreparation, the method comprising: automatically exchanging drafts of adocument iteratively between two or more parties through a documentexchange server wherein current drafts are maintained; and routing thedocument automatically for execution upon finalization of the document.